Carl Hebron DOE SBIR/STTR Programs Office Overview of the DOE’s S mall B usiness I nnovation R esearch (SBIR) and S mall Business T echnology TR ansfer (STTR) Programs SBIR/STTR Road Tour Seeding America’s Future Innovations™

DOE Mission, Organization, and R&D Programs

SBIR/STTR Programs Office U. S. Department of Energy Mission To ensure America's security and prosperity by addressing its energy, environmental, and nuclear challenges through transformative science and technology solutions. Goal 1: Catalyze the timely, material, and efficient transformation of the nation's energy system and secure U.S. leadership in clean energy technologies. Goal 2: Maintain a vibrant U.S. effort in science and engineering as a cornerstone of our economic prosperity, with clear leadership in strategic areas. Goal 3: Enhance nuclear security through defense, nonproliferation, and environmental efforts. 3

SBIR/STTR Programs Office DOE Program Offices Participating in SBIR/STTR Defense Nuclear Nonproliferation Environmental Management Energy Efficiency & Renewable Energy Energy Efficiency & Renewable Energy Electricity Delivery & Energy Reliability Electricity Delivery & Energy Reliability Nuclear Energy Fossil Energy ARPA-E SBIR/STTR Programs 4 Science Advanced Scientific Computing Research Basic Energy Sciences Biological & Environmental Research Fusion Energy Sciences High Energy Physics Nuclear Physics DOE SBIR/STTR Programs Office Office of the Secretary

SBIR/STTR Programs Office DOE Program Offices Supporting Goal 1: Clean Energy Technologies Electricity Delivery and Energy Reliability Energy Efficiency and Renewable Energy Fossil Energy Nuclear Energy 5 R&D Topics Clean Coal Technologies Advanced Turbine Technology Oil and Gas Technologies Sensor Technologies Advanced Materials and Technologies for Nuclear Energy Smart Grid Technologies Bio-energy & Biofuels Hydrogen & Fuel Cells Solar Power Water Power Wind Energy Energy Storage

SBIR/STTR Programs Office DOE Program Offices Supporting Goal 2: Science and Engineering Leadership Advanced Scientific Computing Research Basic Energy Sciences Biological and Environmental Research Fusion Energy Sciences High Energy Physics Nuclear Physics 6 R&D Topics Advanced Detectors Accelerator technology RF Components and Systems Data Acquisition, Processing and Analysis Fusion Energy Systems High Performance Computing & Networking Modeling and Simulation Atmospheric Measurement Technology Genomic Science and Related Biotechnologies Advanced Sources: neutron, x-ray, electron

SBIR/STTR Programs Office DOE Program Offices Supporting Goal 3: Nuclear Security Defense Nuclear Nonproliferation Environmental Management 7 R&D Topics Novel Radiation Monitoring Concepts In Situ Remediation Facility Deactivation and Decommissioning Remote Sensing Global Nuclear Safeguards R&D Nuclear Detonation Detection

Overview of DOE SBIR/STTR Programs

SBIR/STTR Programs Office Features of the DOE SBIR/STTR Programs Competitive Grants Driven Program Two Phased Approach – $150K or $225K Phase I (9 months) – Feasibility – $1M or $1.5M Phase II (24 months) – Development & Sequential (up to 24 months) – Fast-Track – Combined Phase I and Phase II – No Funding Gap (up to $1.725M) – Technology Transfer Opportunities (TTO) DOE uses the same topics for SBIR & STTR Applicants can apply to either or both programs with a single application – To apply to both programs, one must meet the requirements for both: SBIR: SBC must perform >67% of the R&D in Phase I, >50% in Phase II STTR: 1) Must collaborate with a RI, 2) SBC must perform >40% of the R&D in Phases I & II, and 3) A single RI must perform >30% of the work in Phases I & II Must be awarded DOE Phase I to compete in Phase II Offer Phase 0 Assistance Offer Phase I and Phase II Commercialization Assistance 9

SBIR/STTR Programs Office Application & Award Statistics for FY 2014 Phase I – 1,618 applications – 201 awards 10 Fast-Track – 72 applications – 14 awards FY 2014 Budget $170M (SBIR)+$24M (STTR) =$194M

SBIR/STTR Programs Office Phase I Awardees: First-Time Winners & Applicants 11

SBIR/STTR Programs Office Technical Reviewer Affiliation Reviewers agree that (1) they will keep application information confidential and (2) they do not have a conflict of interest in reviewing the application. 12

DOE SBIR & STTR Programs: Application & Award Process

SBIR/STTR Programs Office Phase I Funding Opportunity Announcements Participating DOE Programs (FY 2016) Phase I Release 1 Phase I Release 1 Phase I Release 2 Phase I Release 2 Office of Advanced Scientific Computing Research (ASCR) Office of Basic Energy Sciences (BES) Office of Biological and Environmental Research (BER) Office of Nuclear Physics (NP) Office of Defense Nuclear Nonproliferation (NA) Office of Electricity Delivery and Energy Reliability (OE) Office of Energy Efficiency and Renewable Energy (EERE) Office of Environmental Management (EM) Office of Fossil Energy (FE) Office of Fusion Energy Sciences (FES) Office of High Energy Physics (HEP) Office of Nuclear Energy (NE) 14

SBIR/STTR Programs Office Schedule: FY16 Phase I, Releases 1&2 Phase I FOA ScheduleRelease 1Release 2 Topics IssuedJuly 20, 2015November 2, 2015 Topic WebinarsWeek of July 27, 2015Week of November 9, 2015 Funding Opportunity Announcement IssuedAugust 17, 2015November 30, 2015 FOA WebinarAugust 21, 2015December 4, 2015 Letters of Intent DueSeptember 8, 2015December 21, 2015 Full Applications DueOctober 19, 2015February 9, 2016 Award NotificationEarly January 2016*Early May 2016* Grant Start DateLate-February 2016*Early June 2016* *preliminary dates subject to change 15

SBIR/STTR Programs Office Topics Topics Document – DOE primarily uses focused topics – Issued 4 weeks prior to the Funding Opportunity Announcement Communication with DOE program managers – Open communication permitted Webinar – DOE program managers discuss their topics – Applicants submit questions in advance or during the webinar – Webinars are recorded and available from our website 16

SBIR/STTR Programs Office Funding Opportunity Announcement (FOA) FOA – Available at the DOE SBIR website or Grants.gov and includes information onDOE SBIR website Grants.gov Anticipated number of awards and funding available Eligibility Application Requirements Review Criteria Award Administration – Open for approximately 9 weeks Communications with DOE program managers – Open communication permitted to clarify the scope of the topic and subtopic 17

SBIR/STTR Programs Office Important Elements of Your Application Project Narrative – Page and word limits Phase I: 15 pages, 7,500 words Phase II: 20 pages, 10,000 words Fast-Track: 25 pages, 12,500 words Budget & Budget Justification Key Personnel Commercialization Plans – Phase I commercialization plan An example can be found herehere – Phase II commercialization plan SBIR/STTR Information 18

SBIR/STTR Programs Office Top 5 Application Errors Serious Errors (Applications Ineligible for Review & Administratively Declined) – Failed to update SAM registration early—unable to submit application to Grants.gov by deadline – Failed to submit a Phase I Commercialization Plan Submit in Field 12 of the Research & Related : Other Project Information Form – Failed to comply with word & page limitations for the Project Narrative Other Errors (may limit funding eligibility or delay award processing, if recommended for award) – Failed to accurately calculate level of effort (for SBIR and/or STTR) Use level of effort worksheet to assist you with the calculationlevel of effort worksheet – Failed to properly mark proprietary data See FOA for instructions 19

Questions? Contact information: DOE SBIR/STTR Operations: DOE SBIR/STTR and Application Assistance: Manny Oliver – (301) : Carl Hebron – (301) : Chris O’Gwin – (301) : Website: DOE SBIR/STTR Website: DOE Phase 0 Assistance: Join our Mailing List: DOE SBIR/STTR Mailing List:

Follow-On Resources & Information

SBIR/STTR Programs Office Operation of the DOE SBIR and STTR Programs DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE SBIR/STTR Programs Office – Develop Funding Opportunity Announcements – Administer Review and Selection Process – Ensure Compliance with SBIR/STTR Legislation – Conduct Outreach DOE SBIR/STTR Programs Office – Develop Funding Opportunity Announcements – Administer Review and Selection Process – Ensure Compliance with SBIR/STTR Legislation – Conduct Outreach DOE Chicago Office – Negotiate Grants – Issue New and Continuation Awards – Grant Closeout DOE Chicago Office – Negotiate Grants – Issue New and Continuation Awards – Grant Closeout DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Offices – Develop Topics – Identify Reviewers – Select Awardees – Manage Projects DOE Program Office – Develop Topics – Identify Reviewers (Scientific Peer Review) – Recommend Awardees – Manage Projects DOE Program Office – Develop Topics – Identify Reviewers (Scientific Peer Review) – Recommend Awardees – Manage Projects 22 Single Grants Office for Awardees Technical Expertise Leveraged Throughout DOE Single Administrative Office for Applicants

SBIR/STTR Programs Office New for FY 2015: Phase 0 Assistance Program Goal – Increase the number of responsive, high quality proposals submitted to the DOE within targeted states with historically low SBIR/STTR applications to the DOE, and amongst women- and minority-owned businesses nationally. Services – Letter of Intent (LOI) writing assistance – Phase I proposal preparation, review and submission assistance – Small business development training and mentoring – Communication and market research assistance – Technology advice and consultation – Indirect rate and financial information Cost – Since this program is entirely funded by the DOE there is no cost to eligible participants. Website: DOE’s Under Represented States – AK, DC, GA, HI, IA, ID, IN, KS, LA, ME, MN, MS, MT, NC, ND, NE, NY, OK, PA, PR, RI, SC, SD, WA, WI 23

SBIR/STTR Programs Office Letters of Intent (LOI) Requirement – You must submit an LOI by the due date to be eligible to submit an application Primary purpose – begin reviewer assignment to reduce award cycle time – due 3 weeks after FOA is issued Secondary purpose – provide notification to applicants who appear to non-responsive; you may submit a formal application if you receive this notification Limits – Small businesses may submit only 10 letters of intent (and 10 applications) per solicitation Content: – Title – Topic and subtopic – Abstract (<500 words) Provide sufficient technical detail to enable reviewer assignment Non-proprietary – List of collaborators – Small business information Name, address Business official and contact information Principal investigator – Phase I or Fast-Track 24

SBIR/STTR Programs Office Example Topic Topic & Subtopic – You must specify the topic and subtopic in your letter of intent and application Topic Header – List the maximum award amounts for Phase I & Phase II ant the types of application accepted Program Manager – Each subtopic lists the responsible DOE program manager Other Subtopic – Check on it! References 25

SBIR/STTR Programs Office Technology Transfer Opportunities (TTOs) New feature of the DOE SBIR/STTR Programs that began in FY 2013 An opportunity to transfer inventions made by a DOE National Lab or university to your small business Awardees receive – an SBIR/STTR grant and – an option to license the technology Please review the TTO Section of the topics document if you plan to submit an application to a TTO. 26

SBIR/STTR Programs Office Example Technology Transfer Opportunity Topic Technology Transfer Opportunity – The topic or subtopic will be clearly labeled Research Organization – The DOE National Lab or university responsible for the TTO is listed along with contact information and other references – Please contact the Lab or university to obtain information about the TTO DOE Program Manager

SBIR/STTR Programs Office Evaluation Criteria for Phase I and II Proposals 1.Strength of the Scientific/Technical Approach – 33% (Phase IIB = 25%) a)To what extent does the proposed work build upon or move beyond the current state-of-the-art? b)How new or unique is the idea? c)How significant is the scientific and/or technical challenge? d)Is a breakthrough possible? e)Has the applicant demonstrated knowledge of the subject? f)How thoroughly have the concepts been presented? 2.Ability to Carry out the Project in a Cost Effective Manner – 33% (Phase IIB = 25%) a)Please comment on the qualifications of the Principal Investigator (PI), other key staff, and consultants, if any, and on the level of adequacy of equipment and facilities 3.Impact – 33% (Phase IIB = 50%) a)Please comment on the significance of the technical and/or economic benefits of the proposed work, if successful b)Please comment on the likelihood that the proposed work could lead to a marketable product or process, and on the size of the potential market. c)Please comment on the likelihood that the project will attract further development funding (from private sector sources, Federal, non-SBIR/STTR sources) after the SBIR/STTR project expires.

SBIR/STTR Programs Office Application & Award Timelines 29 months Issue Topics Applications Due Award Notification Start of Budget Period Issue FOA TOPICSREVIEW & SELECTIONNEGOTIATE LOI Due FOA: Funding Opportunity Announcement LOI: Letter of Intent Phase I Budget Period—9 months Phase I Applications Due Award Notification Start of Budget Period Issue FOA REVIEW & SELECTIONNEGOTIATE Phase II Budget Period—24 months Phase II

SBIR/STTR Programs Office Commercialization Assistance DOE Commercialization Assistance will be provided by Dawnbreaker – Phase I assistance Commercialization Readiness Assessment Focused assistance with development of Phase II commercialization plans – Phase II assistance Flexible offerings to meet a variety of commercialization needs – Company-selected Commercialization Assistance Vendor – Reauthorization permits companies to select their own vendors to provide commercialization assistance – Company must include this vendor as a subcontractor or consultant in their Phase I or II application 30

SBIR/STTR Programs Office FY 2013 SBIR/STTR (Does not include FY13 Phase I Release 3) Application and Award Stats DOE Funding Program Number of Topics FY 13 Applications FY 13 Merit Reviews FY 13 SBIR Awards FY 13 STTR Awards Basic Energy Sciences Energy Efficiency & Renewable Energy Fossil Energy High Energy Physics Nuclear Security (DNN) Biological & Environmental Research Nuclear Physics Fusion Energy Advanced Computing Nuclear Energy Electricity Delivery & Reliability Environmental Management TOTAL631,743 1, %13%2%

SBIR/STTR Programs Office Collaborations with Research Institutions STTR – Prior to receiving an award, there must be an agreement between the small business and the Research Institution that covers property and commercialization rights. – To simplify the negotiation of this agreement, we provide a model agreement for your use.model agreement – Refer to the Phase I FOA for a full definition of a Research Institution SBIR – No restrictions on subcontracting to a Research Institution Previous waiver requirement for Federal Labs has been eliminated.) 32

SBIR/STTR Programs Office Phase I vs. Fast-Track Applications Applicants may submit either a Phase I or Fast-Track application to our Phase I Funding Opportunity Announcements What is a Fast-Track application? – Combined Phase I/Phase II application – Budget period: 33 months 9 months for Phase I 24 months for Phase II – Technical Narrative Covers the entire budget period – Commercialization Plan Requires Phase II Commercialization Plan (Phase I Commercialization Plan not required) 33

SBIR/STTR Programs Office Fast-Track Application Primary Benefit: Awardees of Fast-Track applications will not have a gap in their funding between Phase I and Phase II Applicants must have a compelling Phase I/Phase II application – May not be suitable for risky Phase I research with many different paths for Phase II – May not be suitable for those with limited commercialization experience 34 Phase I Phase II Current Process: 5 month Phase I – II funding gap 5 months 9 months2 years Phase I 9 months Fast-Track process Phase II 2 years

SBIR/STTR Programs Office Review and Selection DOE primarily uses external peer review to evaluate your applications – Typically at least 3 technical reviewers – 1 reviewer for the Phase II Commercialization Plan Review Criteria (equally weighted in Phase I and initial Phase II) – Strength of the Scientific/Technical Approach – Ability to Carry Out the Project in a Cost Effective Manner – Impact You will be notified of the decision on your application within 90 days of the application deadline – Reviewer comments will be made available to you. Use this feedback constructively to improve future applications 35

SBIR/STTR Programs Office DOE SBIR webpage Join our mailing list to ensure you are notified when topics and FOAs are posted Funding Opportunities 36 Applicant Resources

SBIR/STTR Programs Office Funding Opportunities Tab 37 Documents and Webinars for Topics and FOAs are posted here